1. 1 Chapter 13 File and Records Management

2. Types of Filing Systems 2 Centralized - Located in one area of office Decentralized/Satellite - Located in various areas of office Automated – Electronically stored files and records – “Paperless Office”

3. Coding/Numbering of Files 3 Alphabetic Numeric Alphanumeric

4. Straight Numbering 4 Color indicates type of case, responsible attorney, or other. Olson, James F. v. Ripley, Robert D. 102 Straight numbering is consecutive numbering: 102, 103, etc.

5. Calendar Numbering 5 Color indicates type of case, responsible attorney, or other. Olson, James F. v. Ripley, Robert D. 0811-341 Year and month File No. Calendar numbering reveals the age of a case and keeps all files opened in a year together.

6. Account Numbering 6 Color indicates type of case, responsible attorney, or other. Olson, James F. v. Ripley, Robert D. 862-104 AccountFile No. An account numbering system is used by firms that represent clients with a number of cases, such as collection cases.

7. Combination Numbering 7 Color indicates type of case, responsible attorney, or other. Olson, James F. v. Ripley, Robert D. 0807-4-23.321/3 Year & Mo. Attny Type of Case File No. Volume No.

8. Alphanumeric 8 Color indicates type of case, responsible attorney, or other. Olson, James F. v. Ripley, Robert D. LA 123 Initials indicate type of case, attorney or branch office

9. Alphanumeric Numbering 9 Olson, James F. v. Ripley, Robert D. 15-12-19-15-14 15 = O 12 = L 19 = S 15 = O 14 = NOLSON

10. File Opening Procedures 10 New client intake sheet is completed File is assigned a number in the firm’s system Information is entered in billing and calendaring systems Conflict check. NEVER open a file without calendar or tickler entry

11. Prospective Client Files 11 Opened when a prospective client consults an attorney Contains notes of interview Must be entered into firm’s conflict checking system

12. In a large case, documents are further categorized by type. 12 File 1 - Pleadings Complaints Cross-Complaints Answers File 2 - Discovery Interrogatories Requests for Admissions Production of Documents File 3 – Motions

13. Circulation Control Check-out system File audit system Ethical walls to prevent unauthorized access 13

14. File Retention Policy 14 Factors to consider: Statute of limitations Type of file Age of client State and/or federal retention requirements Cost of storage

15. Records Destruction 15 Client must be afforded reasonable time to retrieve file prior to destruction Method of destruction – protection of confidentiality Shredding Incineration Maintain record of all destroyed files

16. Records Destruction Documents not appropriate for destruction Original will, trusts, estate planning documents Original agreements which are of ongoing nature Settlement Agreements Corporate documents Adoption files Real Estate documents – deeds of trust, notes, title documents Documents with intrinsic value 16